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Filing Details

Accession Number:: 0001104659-21-141867
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-19 16:10:08
Reporting Period:: 2021-11-17

Accepted Time:: 2021-11-19 16:10:08
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
895051	Casi Pharmaceuticals Inc.	CASI	Biological Products, (No Disgnostic Substances) (2836)	581959440

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1542073	Wei-Wu He	Casi Pharmaceuticals, Inc. 9620 Medical Center Drive, Suite 300 Rockville MD 20850	Chairman And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-11-17	200,000	$0.99	5,362,569	No	4	P	Direct
Common Stock	Acquisiton	2021-11-18	200,000	$0.98	5,558,472	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,000,000	Indirect	See Footnote
Common Stock	7,532,347	Indirect	See Footnote
Common Stock	441,072	Indirect	See Footnote

Footnotes

The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $0.98 to $1.00 per share on November 17, 2021 and $0.96 to $1.00 per shares on November 18, 2021. The Reporting Person undertakes to provide to the issuer, or any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The shares are held indirectly in the name of ETP BioHealth III Fund, LP, a limited partnership of which the Reporting Person is the managing member of the general partner. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purposes.
The shares are held indirectly in the name of ETP Global Fund LP, a limited partnership of which the Reporting Person is the managing member of the general partner. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purposes.
The shares are held indirectly in the name of Emerging Technology Partners, LLC, an LLC entity of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest thein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for the purposes of Section 16 or any other purposes.